Job title: Compliance Associate
Duties and responsibilities:
Support pre-trade Compliance monitoring for Eaton Vance Management (International) Limited’s UK trading desk. Assist in trade review testing to ensure compliance with MiFID II regulations and ESMA guidelines. Support CCO in preparation of Compliance reports for various Boards, Committees, and regulatory authorities. Primary responsibilities include:
- Support the CCO in pre-trade Compliance monitoring of equity and fixed income orders originating from the UK office.
- Prepare the reporting for daily review of trades for best execution analysis, market abuse regulation adherence, and trade recordkeeping consistency from London and Singapore trading desks.
- Assist the CCO in EVMI/EVAIL marketing material reviews.
- Make recommendations to improve Compliance or operational processes and controls for EVMI/EVAIL.
- Document workflow processes for UK Compliance trading monitoring and daily reporting review.
- Prepare requested Compliance-related materials as requested by third party firms for which EVMI/EVAIL serves as the investment adviser or sub-adviser
- Support the CCO in preparation of Compliance reports for various Boards, Committees, and regulatory authorities.
- Track UK-based trade errors and Compliance violations and coordinate reporting to the London Trade Management Committee and various Boards.
- Assist the CCO in development of internal training material and tracking of training completion.
- University degree in finance or related field
- General industry experience
- Computer Skills – Microsoft Word, Outlook, Excel, Bloomberg (experience in BlackRock Solutions’ Aladdin, Charles River Development, or other Automated Compliance Systems considered an advantage)
- Demonstrated progress to developing knowledge of the Investment Company Act of 1940, UCITS regulations, and AIFMD during the first six months of employment
- Strong business writing skills
- Strong organizational, analytical skills, and attention to detail
- Ability to work both independently and in collaboration with other departments
- Ability to meet deadlines
Location: 125 Old Broad Street, London, EC2N 1AR
Salary: £43,000 gross per annum (plus bonus)
Closing date for applications: Thursday 25 October 2018